China: NDRC Soliciting Comments On The Guidelines For Application Of The Leniency Regime To Cases Of Horizontal Monopoly Agreements (Draft For Comments) (In Chinese)

Last Updated: 21 March 2016
Article by AnJie Law Firm

根据国务院反垄断委员会的工作计划,我们起草了《横向垄断协议案件宽大制度适用指南》(征求意见稿)(以下称《指南》),现面向社会公开征求意见。

此次公开征求意见时间为2016年2月3日至2016年2月22日。有关单位和社会各界人士可以登陆国家发展改革委门户网站(http://www.ndrc.gov.cn)价监局子站(http://jjs.ndrc.gov.cn/)"反垄断"栏目,点击"《横向垄断协议案件宽大制度适用指南(征求意见稿)》公开征求意见",对《指南》提出意见建议,并将意见发送到国家发展改革委(价监局)。

感谢您的参与和支持!

地址:北京市西城区月坛南街38号,国家发展改革委价监局,邮编:100824。

电子邮箱:wanjiang@ndrc.gov.cn

第一条 本指南的依据和目的

依据《中华人民共和国反垄断法》(下称《反垄断法》)第四十六条第二款的规定,经营者主动向反垄断执法机构(下称执法机构)报告达成垄断协议的有关情况并提供重要证据,执法机构可以酌情减轻或者免除对该经营者的处罚(以下称宽大制度)。为指导在横向垄断协议案件中适用上述规定,提高执法机构工作的透明度,便于经营者申请宽大,依据《反垄断法》制定本指南。

第二条 宽大制度的意义

横向垄断协议通常具有严重排除、限制竞争的效果,相对更为稳固,同时也具有高度隐秘性,如果相关经营者能够主动配合,将大大降低执法机构发现并展开调查的难度。因此,执法机构认为,对于那些愿意主动报告横向垄断协议并提供重要证据,同时停止涉嫌违法行为并配合执法机构调查的经营者,执法机构相应地给予经营者减轻或者免除处罚,有助于提高执法机构发现并查处垄断协议行为的效率,节约行政执法成本,维护消费者的利益。同时,执法机构也认为,给予经营者宽大的额度应当与经营者协助执法机构查处垄断协议案件的贡献程度相匹配。

第三条 本指南的适用范围

本指南仅适用于横向垄断协议案件。

横向垄断协议是指《反垄断法》第十三条第一款所规定的具有竞争关系的经营者达成、实施的垄断协议。本指南下文中所指的垄断协议均指横向垄断协议。

第四条 经营者申请宽大的受理机构

参与垄断协议的经营者可以在执法机构采取《反垄断法》第三十九条所规定的任何措施前,向国务院反垄断执法机构申请宽大。同一垄断协议案件中,经营者分别向不同的国务院反垄断执法机构申请宽大且均被受理的,由国务院反垄断执法机构协商处理。

执法机构采取《反垄断法》第三十九条所规定的任何措施后,参与垄断协议的经营者可以向负责调查的执法机构申请宽大。

第五条 经营者与执法机构的事先沟通

执法机构鼓励经营者尽可能早地报告垄断协议有关情况。经营者申请宽大前,可以匿名或者实名通过口头或者书面方式与执法机构进行沟通。

第六条 经营者申请宽大应提交的材料

申请宽大的经营者应当提交垄断协议有关情况的报告,同时应提交该经营者已经掌握的重要证据材料。

报告应当明确承认经营者从事了涉嫌违反《反垄断法》的垄断协议行为,详细说明达成和实施垄断协议的具体情况。报告应当包括以下信息:(1)垄断协议的参与者及其基本信息(包括名称、地址、联系方式及参与代表等);(2)垄断协议的联络情况(包括联络的时间、地点、内容以及具体参与人员);(3)垄断协议涉及的产品或者服务、价格、数量等;(4)影响的地域范围和市场规模;(5)持续时间;(6)对经营者所提交证据的说明。

经营者所掌握的重要证据材料是指:执法机构尚未掌握案件线索或者证据的,足以使执法机构依据《反垄断法》第三十九条启动调查程序的证据;执法机构已经启动调查程序的,对最终认定垄断协议行为具有显著增值作用的证据,包括:(1)在垄断协议的达成方式和实施行为方面具有更大证明力或者补充证明价值的证据;(2)在垄断协议的内容、达成和实施的时间、涉及的产品或者服务范畴、参与成员等方面具有补充证明价值的证据;(3)其他能够强化垄断协议证明力的证据。

一般认为,在垄断协议达成、实施期间所产生的原始证据比传来证据更具有证明力;直接证据比间接证据更具有证明力;数个种类不同、内容一致的证据比一个孤立的证据更具有证明力。

第七条 经营者申请宽大的初步报告

经营者在申请宽大时暂时无法提供全部材料的,可以先向执法机构提交关于垄断协议的初步报告。初步报告应当明确承认经营者从事了涉嫌违反《反垄断法》所禁止的垄断协议行为,简要说明达成和实施垄断协议的基本情况,包括垄断协议的参与者、涉及的产品或者服务、达成和实施的时间等。

经营者提交初步报告的,执法机构将出具书面意见,要求经营者在一定期限内补充相关材料,该期限最长一般不超过30日,特殊情况下可以延长至60日。如果经营间为申请宽大时间;经营者未在期限内按要求补充提交相关材料的,视为经营者未提出宽大申请。

经营者首次提出正式宽大申请,提交的材料需要补正的,如果提交的材料已经能够说明垄断协议的基本情况,执法机构将按照初步报告对待,并在向经营者出具的书面意见中载明。

第八条 经营者申请宽大的形式

经营者可以以口头或者书面形式提交宽大的申请报告或者初步报告。以口头形式报告的,执法机构将进行书面记录并由经营者授权的报告人签名确认;书面形式包括通过电子邮件、传真或者书面纸质材料等,但经营者应当签名、盖章或者以其他方式确认。

第九条 经营者申请宽大的登记受理

经营者提交宽大的申请或者初步报告后,执法机构将进行登记确认,并在7个工作日内向经营者出具书面意见,明确收到的时间及材料清单。

经营者提交的宽大的正式申请材料不完整或者形式不满足本指南第六条要求的,执法机构将在书面意见中告知经营者补正,并以最后收到符合要求的补正材料的时间为经营者正式申请宽大的时间。经营者提交初步报告的除外。

第十条 经营者获得宽大需要满足的其他条件

经营者提交宽大的申请或者初步报告后,如果未全面履行以下义务,执法机构一般不给予宽大:

(一)及时停止涉嫌违法行为,但执法机构为保证调查工作顺利进行而要求经营者继续实施上述行为的情况除外。经营者已经向境外执法机构申请宽大,并被要求继续实施上述行为的,应当向执法机构报告;

(二)迅速、持续、全面、真诚地配合执法机构的调查工作;

(三)妥善保存并提供证据材料和信息,不得隐匿、销毁、转移证据材料或者提供虚假材料、信息;

(四)未经执法机构同意不得对外披露向执法机构申请宽大的情况;

(五)不得有其他影响反垄断执法顺利进行的行为。

经营者胁迫或者组织其他经营者参与达成、实施垄断协议或者妨碍其他经营者停止该违法行为的,执法机构一般不对其免除处罚,但可以相应给予减轻处罚。

第十一条 经营者申请顺位的确定

在发出行政处罚事先告知书之前,执法机构按照经营者申请宽大的时间先后为经营者排序,确定经营者申请宽大的顺位,并书面告知经营者所处的顺位。

经营者未履行本指南第十条第一款所列义务的,执法机构将取消其顺位。第一顺位的经营者存在本指南第十条第二款情形的,执法机构可以将其调整为第二顺位经营者;情节严重的,执法机构可以取消其顺位。

经营者的顺位被调整或者取消后,其后顺位的经营者可以依次向前递补。

第十二条 执法机构的审理审查

执法机构调查认定垄断协议行为成立的,案件执法人员应当在案件调查报告中根据经营者违法行为的情节轻重确定对经营者的处罚金额,并根据经营者申请宽大的顺位提出是否给予经营者宽大以及处罚减免幅度的建议,执法机构依法在案件的审理审查程序中研究并作出决定。

一般情况下,执法机构在同一垄断协议案件中最多给予三个经营者宽大。如果案件重大复杂、涉及经营者众多,并且申请宽大的经营者确实提供了不同的重要证据材料,执法机构可以考虑给予更多的经营者宽大。

第十三条 执法机构免除、减轻经营者的罚款

对于第一顺位的经营者,执法机构可以对经营者免除全部罚款或者按照不低于80%的幅度减轻罚款。在执法机构启动调查程序前申请宽大并确定为第一顺位的经营者,执法机构将给予免除全部罚款。

对于第二顺位的经营者,执法机构可以按照30%至50%的幅度减轻罚款。对于第三顺位及后序顺位的经营者,可以按照不高于30%的幅度减轻罚款。

本指南所称罚款是指,将申请罚款减免以外的所有情节综合考虑后确定应当对经营者作出的罚款金额。

第十四条 执法机构减免没收经营者的违法所得

为鼓励经营者主动报告垄断协议行为并提供重要证据,执法机构可以考虑在减免罚款的同时参考本指南第十三条考虑减免没收经营者的违法所得。

第十五条 执法机构决定的告知和公开

执法机构在向经营者发送的行政处罚事先告知书中,将写明拟给予经营者宽大的结果和理由,经营者有权依法向执法机构提出陈述、申辩或者听证。

执法机构依照本指南最终决定给予经营者宽大的,应当在作出决定后的20个工作日内,依法将免予处罚决定书或者行政处罚决定书向社会公布。

第十六条 执法机构的保密义务

对经营者依据本指南申请宽大所提交的报告、形成的文书等材料,执法机构将另卷封存保管,未经经营者同意不得对外公开,任何其它机关、组织、个人均无权查阅;上述材料也不作为相关民事诉讼的证据使用,法律另有规定的除外。

执法机构不予宽大的,不得以经营者提交的材料作为认定经营者从事垄断协议行为的证据。

第十七条 实施日期

本指南自 年 月 日起施行。

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